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Rockefeller Financial LLC CRD 291361
$99.6B regulatory AUM 223 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WY | RA | APPROVED | 2025-12-17 |
| TX | RA | APPROVED | 2025-12-08 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Dallas | TX | 11/2015 | 12/2025 |
| Rockefeller Financial Llc | Dallas | TX | 12/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-18 |
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